Page 43 - 期货和衍生品行业监管动态（2022年10月）

期货和衍生品行业监管动态

New York, with operating a Ponzi scheme that misappropriated at least $553 million
from commodity pool participants in connection with entities they owned and

controlled, such as Westridge Capital Management, Inc., WG Trading Investors, LP,

and WGIA, LLC. The Securities and Exchange Commission (SEC) also filed a civil

action in a related matter.

A prior order entered by the court approved a pro rata distribution plan

recommended by both the CFTC and SEC, and proposed by the receiver. Under the

court-approved plan, the receiver made an initial distribution of approximately $792

million to investors, mostly institutions, such as state and county pension funds,

private pension funds, and university foundations. Three additional court-approved

partial distributions have since taken place, and a final distribution completed the

process resulting in victims of the fraudulent scheme obtaining a return of all of their

approved claims.

Both Greenwood and Walsh eventually pleaded guilty to criminal violations in

the related criminal action, agreed to consent forfeiture judgments of approximately

$85 million and $50 million, respectively, and served approximately five years and

four years in federal prison, respectively. In the civil proceedings filed by the CFTC

and SEC, both Greenwood and Walsh ultimately agreed to consent orders of

permanent injunction that enjoined them from any ongoing violations and further

imposed permanent trading and registration bans.

https://www.cftc.gov/PressRoom/PressReleases/8609-22

13. 美国商品期货交易委员会发布年度执法成果（2022 年 10 月 20 日）

美国商品期货交易委员会（CFTC）发布 2022 财年执法成果，以表明其始终

致力于保护客户和维护市场诚信。2022 财年，CFTC 通过和解或诉讼方式实现了

超过 25 亿美元的赔偿金、违法所得和民事罚款。CFTC 在尽力防止出现欺诈、

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